Enforcement Actions and Auditing Challenges

摘要

As the fall ushered in the winter, the 2011 fiscal year of the Securities and Exchange Commission came to an end. Unlike most city and state governments, the federal government's fiscal year spans October 1 to September 30. It takes the Commission some time to compile its annual report, which is usually disseminated in the early part of the following calendar year. The Division of Enforcement did, however, release its report relating to enforcement actions in mid-November.